| 13-01809 | 01/10/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jennifer R. Ewing
Respondent(s): Jason Morgan
Respondent Lawyers(s): Debra Batten Bingham
Arbitrator(s): William F. Julavits
Hearing Site: Raleigh, NC
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| 13-01234 | 01/09/2014 | Claimant(s): Yolanda Blount
Claimant Lawyers(s): Yolanda Fae Blount
Respondent(s): NYLife Securities LLC, NYLife Insurance Company of Arizona, New York Life Insurance & Annuity Corp., New York Life Insurance Company
Respondent Lawyers(s): Paul C. Evans
Arbitrator(s): Alan J. Blocher, Peter A. Scarpato, Timothy James Potero
Hearing Site: Philadelphia, PA
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| 12-04118 | 01/08/2014 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Peter Gambee
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Martin H. Zern, Steven J. Brill, David Jeremy Mattana
Hearing Site: New York, NY
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| 12-04268 | 01/08/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Richard Labriola
Respondent Lawyers(s): Richard Edward Labriola
Arbitrator(s): Vincent C. Pangia, Sandra D. Parker, David Francis MacNair
Hearing Site: New York, NY
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| 13-00162 | 01/08/2014 | Claimant(s): Kenneth Karetnick
Claimant Lawyers(s): Todd A. Gutfleisch
Respondent(s): James Glickenhaus, Glickenhaus & Co., Steven Green
Respondent Lawyers(s): Alan I. Raylesberg
Arbitrator(s): Irwin Kahn, Nancy S. Gerber
Hearing Site: New York, NY
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| 12-02153 | 01/07/2014 | Claimant(s): Christine Frole
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): Dennis Zaplin, Chase Investment Services Corp., Gregg Kleinbaum, Jason Navolio, Joseph Mignano
Respondent Lawyers(s): Lawrence R. Sandak
Arbitrator(s): Laura H. Goldzung, Linda J. Baer, Scott Mooney
Hearing Site: Newark, NJ
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| 12-03324 | 01/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
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| 13-00236 | 01/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Marcos Madril
Respondent Lawyers(s): Marcos A. Madril
Arbitrator(s): I. Douglas Dunipace, Seymour A. Kolman, Jamie Lee Wicks
Hearing Site: Phoenix, AZ
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| 13-02012 | 01/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Walter Bernard
Respondent Lawyers(s): Walter Jeffrey Bernard
Arbitrator(s): Donita M. King
Hearing Site: Raleigh, NC
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| 12-04074 | 01/06/2014 | Claimant(s): Gregory Zerillo
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): John G. Manley
Hearing Site: Nashville, TN
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